Expiration, renewal & termination of registration (HAR §16-39-441)

  • All registrations automatically terminate on December 31 of each year
  • Renewals are done through IARD
    • Renewal fees paid in October/November
    • Confirm that funds have been deposited into the renewal account
    • Remember that the IARD system shuts down during the last two weeks of the year
  • Advisers are responsible for renewing the registration of their investment adviser representatives
  • Registration may be terminated prior to the expiration date by filing a Form ADV-W through the IARD